COMPLIANCE OFFICER

Role and Responsibilities

The candidate will be responsible for performing the following tasks and duties:

We're hiring a Compliance Officer with 3 - 5 years post university experience, preferably with FinTech and Financial Services experience in investments, crypto, banking, payments or other relevant domain.

You will be responsible for ensuring the company’s overall compliance with applicable laws relating primarily securities brokerage companies which may in future be expanded to include other financial services licenses. You will be responsible for conducting monitoring/quality assurance/review, and advisory of regulatory and AML/CFT compliance practices including the drafting of relevant compliance management programs/manuals, policies and procedures throughout EasyEquities PH in accordance with applicable laws and in alignment with the group’s broader compliance policies and procedures.

You will be required to perform assessments and verification, on a risk-based approach, to assess the effectiveness of the control measures and the level of EasyEquities PH compliance against applicable laws, rules, regulations and standards, and report any non-compliance gaps to Head of Legal/Chief Operating Officer.

You will be responsible for all regulatory registrations and reporting to institutions such as the Anti-Money Laundering Council. You will work closely with related business units as well as local Regulators where applicable as part of your accountability to assist Head of Legal/COO in managing EasyEquities PH regulatory compliance risk.

Perform relevant assessment and analysis to develop a risk-based approach compliance review/testing plan which includes validation of reported resolutions to regulatory directives.Design, development and drafting of applicable compliance management programs/manuals, policies and procedures such as the ML and TF prevention program in alignment with the group’s broader policies and procedures and applicable laws.Ensure EasyEquities PH client compliance, AML and screening procedures.Assist in developing compliance testing approach methodology and scope.Execute planned business units review / quality assurance activities pursuant to the approved scope and resources.Attend to applicable regulatory registrations such as registration with the Anti-Money Laundering Council (AMLC).Report all relevant transactions to the relevant regulatory authorities such as suspicious transaction reporting to the AMLC.Working together with stakeholders to address identified issues and gaps.Assess EasyEquities PH level of compliance with regulations, identify regulatory gaps/ non-compliances, develop action plan (in collaboration with relevant stakeholder), and report to Head of Legal/COO.Monitor progress of rectification and remediation efforts to avoid recurrence of non-compliance issues.Submission of regulatory reports under BSP and AML/CTF requirements.Assist with new project implementation and process design. Assist other members of EasyEquities PH as required.Improve on processes to drive efficiencies and change.Keep up to date with all changes to applicable legislation affecting EasyEquities PH and attending to any changes required in existing policies and procedures Assist with the collation and compilation of additional license applications if and when required Advising business on the local law requirements applicable to additional financial services licenses.Liaising with the local regulatory authorities as and when required.

Requirements (relevant skills & qualifications):

Must be a seasoned compliance professional with 3 – 5 years’ experience as a Compliance Manager, in Financial Services and with local regulatory experience.Preferably have FinTech/ tech experience or worked for a software development firm.Exudes confidence and ability to exercise good judgment in handling sensitive information A good understanding of the concepts of Risk Management, Internal Controls, Compliance and Internal Audit.Knowledgeable of statutory and regulatory, including AML/CFT obligations governing financial services organizations in the Philippines.Knowledgeable of laws and regulations applicable to financial services companies in particular those relating to operational and support.Proficient in Microsoft productsPreferably experienced in the Financial Services industry

Desirable behavioral characteristics:

·        Great with working in teams

·        Task driven

·        Problem solving abilities

·        Comfortable with remote working

·        Organizational skills

·        Excellent verbal and written communication skills

·        Accurate and high attention to detail

·        Diligent and conscientious

·        Goes above and beyond what is ordinarily required